Auditing Tecniques for Regulators
ClassroomOnline

Auditing Tecniques for Regulators

Language: English, French, Portuguese
Duration:
5 days
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About the course

This auditing training course supports aviation authority auditors and inspectors. First, it explains how to plan, conduct, and close audits clearly. As a result, regulators gain confidence in both initial approvals and ongoing oversight activities.

In addition, the course explains how auditing works within global regulatory systems. It uses practical references to ICAO, EASA, ISO, and European Union regulations. Rather than focusing only on basic compliance, the training promotes risk-based and performance-based auditing. Therefore, auditors can evaluate safety performance more effectively.

Next, the program combines short theory sessions with hands-on practice. For example, participants design audit programs and define audit scope. They also prepare clear audit checklists. At the same time, they practice interviews and evidence collection. Then, the course shows how to identify, review, and classify audit findings step by step.

Moreover, realistic scenarios allow participants to apply auditing methods in airlines, airports, ANSPs, and maintenance organizations. In this way, auditors improve consistency and decision-making. Finally, participants learn how to write clear and structured audit reports that support corrective actions.

Overall, this course supports civil aviation authorities and oversight departments that want stronger auditing systems. By the end of the training, participants can conduct effective auditing aligned with international standards. Consequently, they help improve compliance, strengthen oversight, and enhance aviation safety.

Key Topics

Module 1: Introduction to Oversight and Compliance Monitoring

  • The concept of compliance monitoring in aviation
  • Why perform audits and regulatory oversight
  • ICAO framework: Doc 9734, Critical Elements 6 & 7
  • Overview of EASA, EU Commission regulations (e.g., 638/2013)
  • ISO and Quality Management principles
  • Compliance monitoring vs. quality assurance
  • Process-based management and the Deming cycle

Module 2: EASA and Organisational Oversight

  • EASA management system requirements
  • Key roles and responsibilities
  • Integration of compliance, safety, and performance oversight
  • Performance-based auditing and MSAT tool

Module 3: The Audit Lifecycle

  • Audit Preparation
    • Oversight program design
    • Risk-based auditing
    • Audit scope, objectives, criteria, and team composition
  • Audit Initialisation
    • Audit planning and communication
    • Development of audit schedule and checklist
    • Pre-audit activities and team briefings
  • Audit Execution
    • Conducting opening meetings
    • Interviewing techniques and note-taking
    • Gathering and evaluating objective evidence
  • Reporting
    • Writing and classifying findings
    • Audit reports and closing meetings
  • Follow-up
    • Corrective actions
    • Closure of findings and final team meetings

Objectives

Upon completion of the course, participants will be able to:

  • Understand core auditing principles and methodologies
  • Differentiate between audit types and apply appropriate methods
  • Design and implement oversight programs
  • Develop effective audit plans, schedules, and checklists
  • Conduct audits using professional techniques and tools
  • Collect and assess audit evidence
  • Write well-structured findings and reports
  • Conduct audit briefings and debriefings
  • Understand root cause analysis and corrective action processes

Targe Audience

  • Civil Aviation Authority (CAA) auditors, inspectors, and compliance officers
  • Regulatory personnel involved in planning or managing oversight activities
  • Professionals new to aviation auditing or oversight roles
  • Quality or compliance staff preparing for authority interaction

Certificate

Upon completion, participants receive
a certificate of achievement.

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